Risk Update November 2020

Limitation of liability - Anti-Money Laundering (AML) - Conflicts of interests - Professional indemnity insurance - Data protection and information security

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Solicitors professional indemnity could become unsustainable

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Risk Update September 2020

Anti-money laundering (AML) - Risk and Audit Committees - Professional indemnity insurance (PII) - Data protection and information security

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Block notifications – the Solicitors’ PII Renewal 2020

The problem - An important tool in the broker's armoury - Notifiable circumstance - Making an effective block notification

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Risk Update July 2020

Webinar: The road to recovery - Anti-money laundering (AML) - DAC6: Deferral of reporting deadlines - Costs - Professional Indemnity Insurance - Conflicts and Confidentiality - Data Protection

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Risk Update May 2020

The Road to Recovery-Anti-money laundering (AML)-Conflicts and Confidentiality-Professional indemnity insurance-Data protection and information security

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Risk Update March 2020

Coronavirus (Covid-19)- Anti-money laundering (AML) -Data Protection - Conflicts of interests - Brexit - Legal professional privilege - Termination of retainers and Conditional Fee Agreements (CFAs)

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Risk Update • January 2020

Anti-Money Laundering (AML) - SRA Standards and Regulations - Conflicts of Interests - Professional Indemnity Insurance - Data Protection

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Legal Compliance January 2020 – Reaching for the STARs

Frank Maher outlines an action plan for COLPs and risk directors responsible for implementing the new SRA Standards and Regulations (STARs). First published in Legal Compliance, a Law Society publication, January 2020.

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Risk Update • November 2019

"There will be many, many more prosecutions in relation to AML" - SRA Standards and Regulations 2019 - Investment schemes - Brexit - Preserving confidentiality and data protection

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Risk Update • September 2019

SRA Standards and Regulations – Professional indemnity insurance (PII) – Anti-money Laundering (AML) – Cyber – Conflicts

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Legal Compliance July 2019 – A matter of principle

Francis Dingwall shares his views on legal ethics. First published in Legal Compliance, a Law Society publication, July 2019.

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Risk Update • July 2019

Anti-Money Laundering (AML) – Conflicts – Help! I’m a new Compliance Officer/MLRO… – Data protection – What links PPI, PII and the new SRA Code?

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Risk Update • May 2019

Anti-Money Laundering: The crackdown – SRA Standards and Regulations – Conflicts of interest and costs problems – Professional indemnity insurance concerns – Data protection

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Risk Update • March 2019

Anti-Money Laundering – Confidentiality – SRA Standards and Regulations – Cyber – Data Protection – Conflicts of Interest

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Cautionary Tales: lessons in ethics for lawyers

£7.99 Can be purchased through Wildy & Sons Ltd or by calling 0345 330 6791.

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Risk Update • January 2019

Brexit – Anti Money Laundering – Me Too – Data Protection – Who owns the files? – Professional Indemnity Insurance – Conflicts of Interests

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NLJ – Controlling risk

Frank Maher shares some predictions for law firm risk.

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GDPR: 6 months on – An update for US law firms (December 2018)

Extra-territorial scope – Controller or processor? – Consent – Cross-border data transfers – Anti-money laundering – Data breaches – Common problems – Cyber Crime and GDPR: the need for training

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Risk Update • November 2018

Our predictions for law firm risk – Anti Money Laundering – Professional Regulation – Professional Indemnity Insurance – Data Protection

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Risk Update • September 2018

Legal professional privilege – AML – Data Protection – Border control – Conflicts – Professional Indemnity Insurance

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Risk Update • July 2018

Anti-money laundering (AML) – General Data Protection Regulation (GDPR) – Professional indemnity insurance – Artificial Intelligence (AI): Supervision, regulation and ethics – Cyber – Referral fees – 15 years of Legal Risk

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SRA PII Consultation Response

Our response to the SRA consultation on Protecting the users of legal services: balancing cost and access to legal services

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SRA PII Consultation: Saving on the cost of lifeboats on the Titanic

Commentary on the risks posed by the Solicitors Regulation Authority’s consultation on changes to the requirements for compulsory professional indemnity insurance.

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Proving dishonesty: the indemnity consultation

First published in issue 55, The Legal Compliance Bulletin, May 2018. All solicitors know about the role of the SDT, but are they aware of a hidden second tier of proceedings lurking in their indemnity insurance policies?

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Risk Update • May 2018

Dreamvar: solicitor as guarantor – PII Consultation: how to avoid nightmares like Dreamvar – SRA’s ‘Innovate’ initiative – Limits on ‘acting in the client’s best interests’ – AML - Westminster’s new mood – Sanctions - USA’s new drumbeat – GDPR

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SRA proposals for PII reform – are there any winners? | JLT

First published here: https://www.jlt.com/en-uk/insights

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Risk Update • March 2018

Demolition job: SRA Consultation on Professional Indemnity Insurance (PII) - Challenging opponents’ legal costs - What is integrity? - General Data Protection Regulation - Conflicts of Interests and Confidentiality - AML - Non-disclosure agreements

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Risk Update • January 2018

Anti-money laundering (AML) and financial crime - General Data Protection Regulation (GDPR) - Professional Indemnity Insurance - SRA investigations and disciplinary proceedings - Conflicts of interests - Acquisition of practices and transfer of instructions

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A Review of 2017 and Predictions for 2018

Frank Maher takes a look back over 2017 and identifies some of the key developments in the pipeline for 2018. First published in Legal Compliance Bulletin, Issue 53, Jan 18

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